technology governance in accordance with the following criteria in order to implement the information technology governance policy of the intermediary as specified under Clause 5: (4) Reporting on the
Securities Account dated 1 October 1997; (2) Notification of the Securities and Exchange Commission No. KorThor. 48/2540 Re: Separation of Client’s Financial Account dated 31 December 1997; (3) Notification of
responsibility of the organizations concerning derivatives business showing the separation between organizations and personnel whose responsibility or nature of work may cause conflict of interest (b) a guideline
governance in accordance with the following criteria in order to implement the information technology governance policy of the intermediary as specified under Clause 5: (1) policy on the governance of
registrar and the competent official, issue ministerial regulations, and prescribe other tasks to implement this Act. Ministerial regulations shall be enforceable upon their publication in the Government
less than five consecutive business days; (3) implement the corrective plan or guideline notified to the SEC Office under (2) in order to regain the maintenance of capital in accordance with the
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets . At least, there shall be a separation of personnel responsible for
การเข้ารหัสข้อมูล (key management) [ ข้อ 6 แนวปฏิบัติ 1 ] บลจ.เอ็มเอฟซี ไม่เห็นด้วย ทั้งนี้ อาจจะต้องกำหนดให้ชัดเจน เรื่องการ implement รูปแบบนี้กับบริการระบบใดบ้าง และเนื้อหาในรายละเอียดของแต่ละบริการ
Systems: Does the firm provide services to design provide or implement IT systems to audit client? If so, does this include accounting systems or relating to the production of financial statements 3
, internal audit unit, compliance unit, risk management unit, to reflect the order of commands, support, inspection, independence and separation of duties between the Board of Directors and the management. 7.2